Laws and Regulations Terms

  1. Exculpatory Clause

  2. Exempt Transaction

  3. Express Warranty

  4. Fair Debt Collection Practices Act - FDCPA

  5. Fair Funds for Investors

  6. Federal Covered Advisor

  7. Federal Reserve Regulations

  8. Financial Institutions Regulatory Act

  9. Financial Privacy

  10. Financial Responsibility Law

  11. Financial Services Modernization Act Of 1999

  12. Food And Drug Administration - FDA

  13. Foreign Corrupt Practices Act

  14. Full Disclosure

  15. Functional Regulation

  16. Glass-Steagall Act

  17. Global Financial Stability Report - GFSR

  18. Green Economics

  19. Guardian

  20. Handelsgesetzbuch - HGB

  21. Hell or High Water Contract

  22. Hold Harmless Clause

  23. Implied Contract

  24. Implied Contract Terms

  25. Inchoate

  26. Incorporeal Rights

  27. Industrialization

  28. Insider

  29. Insider Buying

  30. Insider Information

  31. International Organization Of Securities Commissions - IOSCO

  32. International Securities Exchange - ISE

  33. Intrastate Offering

  34. Investor Protection Act

  35. Joint And Several Liability

  36. Judgment

  37. Legal Rate Of Interest

  38. Legislative Overkill

  39. Letter Of Comment

  40. Letter Of Indemnity

  41. Libel

  42. Licensing Agreement

  43. Liquidated Damages

  44. Listing Requirements

  45. Locked Market

  46. Locus Sigilli

  47. Market Capitalization Rule

  48. Market Performance Committee

  49. Markets In Financial Instruments Directive - MiFID

  50. Mechanic's Lien

  51. Meeting Of The Minds

  52. Memorandum of Understanding - MOU

  53. National Market System Plan - NMSP

  54. National Treatment

  55. NCUA-Insured Institution

  56. Negotiable

  57. Non-Compete Agreement

  58. Non-Negotiable

  59. Non-Open Market

  60. Nonfeasance

  61. Notice Filing

  62. Novation

  63. Occupational Labor Mobility

  64. Office Of Foreign Asset Control - OFAC

  65. Official Strike

  66. Open-Market Transaction

  67. Options Backdating

  68. Options Clearing Corporation - OCC

  69. Oral Contract

  70. Order Protection Rule

  71. Organic Act of the Department of Labor

  72. Organisation of Eastern Caribbean States (OECS)

  73. Organization for Economic Cooperation and Development - OECD

  74. Organized Labor

  75. Over-The-Counter Bulletin Board - OTCBB

  76. Patent Reexamination

  77. PATH Act

  78. Power Of Attorney

  79. Power of Attorney of Property

  80. Pre-Syndicate Bid

  81. Price Cap Regulation

  82. Property Rights

  83. Punitive Damages

  84. Qualified Institutional Buyer - QIB

  85. Quiet Title Action

  86. Rate Of Return Regulation

  87. Registered Investment Advisor - RIA

  88. Regulation 9

  89. Regulation A

  90. Regulation AA

  91. Regulation BB

  92. Regulation C

  93. Regulation CC

  94. Regulation DD

  95. Regulation E

  96. Regulation F

  97. Regulation Fair Disclosure - Reg FD

  98. Regulation G

  99. Regulation H

  100. Regulation I

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